Herbert M. Lyman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Herbert Michael Lyman was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1968. Herbert had worked at 8 firms and has passed the Series 65, Series 63, PC, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2003 - January 8, 2024
FISHER INVESTMENTS
August 27, 2001 - December 6, 2002
MORGAN STANLEY DW INC.
January 29, 1998 - July 23, 2001
MCCLENDON, MORRISON & PARTNERS, INC.
February 22, 1978 - October 20, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
July 11, 1977 - October 24, 1983
LEHMAN BROTHERS INTERNATIONAL SECURITIES, INC.
May 14, 1971 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
July 23, 1970 - June 8, 1971
F I DUPONT GLORE FORGAN & CO
May 7, 1968 - December 19, 1997
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 4/10/1990
AMEX Put and Call ExamSeries 000
Date: 5/7/1968
General Securities Principal ExaminationSeries 1
Date: 5/7/1968
Registered Representative ExaminationCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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